DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
3• A•••••• G••••• I•••
Latest filing Sep 10, 2026
First filing on the tape Apr 15, 2026 · 4 filings
SEC status 120-day approval since May 15, 2026
RAUM
$194M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$192M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$97.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Aug 14, 2026
Apr 15, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 14, 2026
Apr 15, 20262 then
Employees (5.A)2 as of Aug 14, 2026
Apr 15, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $97.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $896,317derivedHNW RAUM over HNW clients
- Average account
- $684,218derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$155M80%
- High-net-worth individuals$36.7M19%
- Corporations and businesses$2.1M1.1%
- Charitable organizations$430,0000.2%
- Individual clients
- 61reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 284reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• W•••••• S••••• | Hopkinton, Ma | Jul 17, 2026 | 18 y | 5 |
| S•••• K•••• H••••• | Littleton, Ma | Aug 7, 2026 | 10 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••• K•••• H••••• from F•••••• I••••••••• M••••••••• I•••Aug 7, 2026 · RIA to a newly registered adviser
- D••••• W•••••• S••••• from F•••••• I••••••••• M••••••••• I•••Jul 17, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• S••••• K•••• · Presidentcontrolsince 04/2026 · owns 50% to 75%
- S•••••• D•••••• W•••••• · Vice President And Chief Compliance Officercontrolsince 04/2026 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hopkinton, Ma | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 284Aug 14, 2026 to Sep 10, 2026
- HNW clients · unset to 41.0Aug 14, 2026 to Sep 10, 2026
- Individual clients · unset to 61.0Aug 14, 2026 to Sep 10, 2026
- Financial planning clients · 0 to 0Aug 14, 2026 to Sep 10, 2026
- HQ city · to unsetAug 14, 2026 to Sep 10, 2026
- HQ state · to unsetAug 14, 2026 to Sep 10, 2026
- Discretionary RAUM · $0 to $194MAug 14, 2026 to Sep 10, 2026
- HNW RAUM · unset to 36749000.0Aug 14, 2026 to Sep 10, 2026
- Individual RAUM · unset to 155065000.0Aug 14, 2026 to Sep 10, 2026
- RAUM · $0 to $194MAug 14, 2026 to Sep 10, 2026
- Related adviser · false to unsetAug 14, 2026 to Sep 10, 2026
- Related bank · false to unsetAug 14, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetAug 14, 2026 to Sep 10, 2026
- Related insurance company · false to unsetAug 14, 2026 to Sep 10, 2026
- Succession · false to unsetAug 14, 2026 to Sep 10, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- c•••••••••@3•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 508-808-1423reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 508-868-8647reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- 3•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (508) 808-1423reportedpublic record, Form ADV, Sep 10, 2026
- Contact form
- 3•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $97.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026